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Canadian financial institutions - including banks, credit unions, insurance companies and securities/investment firms - face an increasingly complex regulatory web. Regulators in Canada and globally are imposing increased pressure on financial institutions to assess, monitor and mitigate regulatory and operational risks.

In addition to staying compliant, today’s financial institutions need to keep up with new regulations, deal with new issues - including those created by social media and emerging technologies - and manage the human resources and technological requirements to get the job done. The speed of change is rapid and the demands are increasing.

Back for its 9th year! This intensive OsgoodePD Certificate program was developed by a select group of industry experts to provide you with a comprehensive and in-depth understanding of compliance requirements and strategies to meet them. This 5-day course covers the intersection of compliance and enterprise risk management, and provides you with best practices to effectively manage both risk and compliance as part of your organization’s essential line of defence. You will emerge from this valuable program armed with the most up-to-date knowledge, strategies and tactics you need to develop, implement or re-energize a state-of-the-art compliance program within your organization.

This program will cover:

  • Fundamentals of regulatory compliance for financial institutions
  • How to effectively identify, mitigate and control risks
  • Essential components of an effective compliance program
  • Federal and supervisory authorities, their objectives, powers and responsibilities
  • Impact of international standard setting organizations
  • How major regulators regulate and supervise
  • Correlations between governance, risk management and compliance (GRC)
  • How to become an effective partner and energize your organization
  • Effectively implementing a code of business conduct and ethics
  • Managing a regulatory examination, investigation and incident
  • Best practices for crisis management and response
  • Strategies for managing high risk issues
  • How to manage social media and industry disruptors like data analytics, bitcoin, blockchain and fintech and other unregulated financial services players
  • Emerging challenges in compliance and what you need to do to prepare

Faculty

Program Directors

  • Jasmin Jabri, Head of Compliance, Invesco Canada
  • Geoff Ritchie, General Counsel & Corporate Secretary, Mawer Investment Management Inc.
  • Joann Sochor, AVP, Corporate Compliance, Sun Life Financial

Program Advisory Board

  • Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
  • John Lewsen, Head of Insurance Compliance, Legal, Corporate & Compliance Group, BMO Financial Group, Chief Compliance Officer, BMO Life Assurance Company & BMO Life Insurance Company
  • Katherine Macpherson, National Leader, Operational Risk: Financial Services Advisory, Ernst & Young LLP
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Ilona Niemi, VP, Compliance Officer, Zurich Insurance Company Ltd. (Canadian Branch)

2019 Program Faculty Included

  • Dan Adamson, CTO and Co-Founder, PointChain Technologies
  • Kent Andrews, Senior Vice President, Regulatory Risk, TD Bank Group
  • Claude Baksh, Chief Compliance Officer, Chief Risk Officer & Chief AML Officer, Computershare
  • Naomi Bartlett, Vice President, Compliance, Canadian Brokerage and International Wealth & Insurance, Global Compliance, Scotiabank
  • J-P Bernier, Retired Executive from Canada’s Financial Industry with International Exposure
  • Barbara Breau, FIP, CIPM, CIPP/C, CCP, AIRC, AVP, Enterprise Compliance, Legal, Compliance & SIU Department, Foresters Financial
  • Sarah Bradley, Ombudsman and Chief Executive Officer, Ombudsman for Banking Services and Investments (OBSI)
  • Denise Carson, CAMS, CPA, CMA, Chief Compliance Officer, BMO InvestorLine Inc., Wealth Management Compliance, Legal, Corporate & Compliance Group, BMO Financial Group
  • Paola Cifelli, Associate General Counsel, Enterprise Regulatory Office, Legal, Corporate & Compliance Group, BMO Financial Group
  • Jill Clark, Senior Director, Capital Markets and Internal Audit, CIBC World Markets Inc.
  • Julie Clarke, General Counsel, Portland Investment Counsel
  • Rebecca Cowdery, Borden Ladner Gervais LLP
  • Pat Forgione, McMillan LLP
  • Charyl Galpin, Chief Regulatory Officer, Wealth Management, BMO Financial Group
  • Sara Gelgor, LLB, LLM, MBA, ICD.D, Head of Regulatory Compliance, Retail Banking & Wealth Management, HSBC Bank Canada
  • Marsha Gerhart, VP Member Regulation Policy, Investment Industry Regulatory Organization of Canada (IIROC)
  • David Goodis, Assistant Commissioner (Policy & Corporate Services), Office of the Information & Privacy Commissioner of Ontario (IPC)
  • Jocelyn Hung, Manager, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
  • Fabio Iannicca, SVP, Operations, CI Investments
  • Carolyn Ibele, Director, Culture & Conduct Risk Division, Office of the Superintendent of Financial Institutions (OSFI)
  • Marley Kafato, Technology Advisory, Ernst & Young LLP
  • Abubakar Khan, Director, Business Advisory Directorate, Office of the Privacy Commissioner of Canada (OPC)
  • Liane Kim, CFA, Chief Risk and Audit Executive, Ontario Power Generation
  • Jessica Leung, Vice President, Legal & Compliance, BlackRock Asset Management Canada Limited
  • Danielle Lin, Vice-President, Canadian Banking & Consumer Legislation Compliance, TD Bank Group
  • Robert McDowell, Fasken Martineau DuMoulin LLP
  • Jay McMahan, Partner, Deloitte LLP
  • Dan Michaluk, Hicks Morley LLP
  • Anatol Monid, Executive Director, Licensing and Market Conduct Division, Financial Services Commission of Ontario (FSCO)
  • Scott Moore, Superintendent of Financial Institutions, Financial Institutions Regulation Branch Manitoba (FIRB), and Vice-Chair, Canadian Council of Insurance Regulators (CCIR)
  • Andrew Mushore, Chief Compliance Officer, Bridging Finance Inc.
  • Ilona Niemi, VP, Compliance Officer, Zurich Insurance Company Ltd. (Canadian Branch)
  • Natalie Ochrym, Advisor, The AML Shop
  • Bruce O’Toole, Member, OSC Securities Proceeding Advisory Committee, and Partner, Crawley MacKewn Brush LLP
  • Philippe Pellerin, Manager, Supervision and Enforcement Division, Financial Consumer Agency of Canada (FCAC)
  • Waqas Rana, Vice President and Chief Compliance Officer, Corporate Compliance, The Co-operators Group Limited
  • Kerry Robbins, Vice President & Ombudsman, TD Bank Group
  • Jacqueline (Jackie) Sanz, CPA, CA, Compliance Executive, and Standards and Practices Committee Member, Portfolio Management Association of Canada (PMAC)
  • Amber Scott, Founder & Chief AML Ninja, Outliers Solutions Inc, and Director, Head of Regulatory Committee, Blockchain Association of Canada (BAC)
  • David Shuen, Chief Compliance Officer and Chief AML Officer, China Construction Bank Toronto Branch
  • Wendy Sieukaran, Senior Compliance Manager, BMO Financial Group
  • Steven Slavens, Torys LLP
  • Grant Spears, Chief Compliance Officer, Teachers Life
  • Felicia Tedesco, Deputy Director, Compliance and Registrant Regulation, Ontario Securities Commission (OSC)
  • Neal Weston, Director, Global Compliance & Trade Surveillance, Scotiabank
  • Karen Woodman, President, Sun Life Financial Investment Services Inc.
  • David Wright, Senior Counsel, Business Conduct Compliance, Investment Industry Regulatory Organization of Canada (IIROC)

Agenda

Fees

Fees include attendance, program materials, lunch and break refreshments for each of the 5 days of the program.

Program Changes

We will make every effort to present the certificate program as advertised, but it may be necessary to change the dates, location, speakers or content with little or no notice. In the event of program cancellation, York University and Osgoode Hall Law School’s liability is limited to reimbursement of paid fees.

Cancellations and Substitutions

Substitution of registrants is permitted at any time. If you are unable to find a substitute, a full refund is available if a cancellation request is received in writing 14 days prior to the program date. If a cancellation request is made with less than 14 days notice, a $75 administration fee will apply. No other refund is available.

Technical Support

In the event you experience technical difficulties, please contact opdsupport@osgoode.yorku.ca for assistance.

FAQs

Have a question? Read our FAQs.

Program Details

Questions on program registration?
Please contact the Registration Team at osgoodepd@osgoode.yorku.ca

Questions on the program content?
Please contact the Program Lawyer:
Alexandra Karacsony AKaracsony@osgoode.yorku.ca

Program Details

Date & Time

January 28, February 13, March 12 & 31, April 14, 2020
8:30 a.m. - 4:30 p.m. EST/EDT
Certificate includes:

  • Option to join Networking List to be distributed amongst participants
  • Option to attend Networking Event (optional, self-pay) on February 13, 2020, from 4:30 p.m. - 7:30 p.m.

Module One: Fundamentals of Compliance 
January 28, 2020 
8:30 a.m. - 4:30 p.m. EST
*Module one: Fundamentals of Compliance is also available as a 1-Day program with an option to upgrade to the Certificate Program
Register for Module One only

Location

Osgoode Professional Development Centre,
1 Dundas St. W., 26th Floor Toronto, ON

Fee per Delegate

Certificate: $4,595 + HST

Newly Licensed (2016-2019): $2,297.50 + HST

Module One: $895 + HST

Newly Licensed (2016-2019): $447.50 + HST

Register Now

Printable Registration Form

Eligible CPD Credit Hours

Who Should Attend

  • Compliance officers and professionals at financial institutions
  • Privacy officers and professionals
  • Risk officers and professionals
  • Operations and risk managers
  • In-house counsel at financial institutions
  • Internal auditors
  • Business or corporate affairs professionals
  • Lawyers in private practice who advise financial institutions
  • Portfolio managers, fund managers and securities dealers
  • Compliance consultants
  • Accountants
  • Anyone interested in a career or a role in compliance

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“Excellent. Clear, high-quality presentations and you [can tell] that the speakers enjoy being there. It also [includes] hands-on application and is full of information about the ‘real-life’ in compliance.”
Diane Hachem, Regulatory Investigator, Law Society of Ontario

“The quality of the whole program was excellent. It covered a broad variety of relevant and up-to-date subjects. I was really impressed by the instructors’ expertise and wealth of experience and [the] real-life experiences that enriched the effectiveness of the training. Thank you very much!”
Patricia Pacanchique, Director, Pension Policy – OMERS Administration Corporation

“Great to get information on the new technology implications (crypto and social media). Real-life examples were very helpful.”
Helen D.K. Friedman, Partner-Risk Management, Miller Thomson LLP


Module One: Fundamentals of Compliance

“As someone new to the “formal” world of compliance, the discussions around risk management approaches and the linkages to effective compliance testing/planning was of particular interest to me. The content was very relevant and well-presented – good materials for takeaways.”
Jeff Niehaus, VP, People & Talent Development, eTracks Tire Management Systems

“As a non-compliance, non-risk executive looking to learn more about the subject matter, the course has been wonderful. The presenters are so proficient in their area of expertise that they make complicated issues seem simple.”
David Campbell, Caledon Trust

Hotels & Parking

If you require accommodations in downtown Toronto, OsgoodePD has arranged Corporate Rates with several hotels within walking distance of our downtown conference centre.

Sponsor A Program

Looking for an innovative way to market your firm’s products or services?

Consider sponsoring an OsgoodePD Continuing Legal Education program or event.